DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••••• F••••••••• L•••
Latest filing Jul 17, 2026
First filing on the tape Jul 17, 2024 · 4 filings
SEC status approved since Aug 15, 2024
RAUM
$144M
reported, Item 5.F
Discretionary
28%
of RAUM
Private clients
51%
$73.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.8M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$144M as of Jul 17, 2026
Mar 25, 2025$116M then
HNW client RAUM$68.5M as of Jul 17, 2026
Mar 25, 2025$58.7M then
State-registered IARs (5.B.3)1 as of Jul 17, 2026
Mar 25, 20251 then
Employees (5.A)4 as of Jul 17, 2026
Mar 25, 20251 then
Private funds2 as of Jul 17, 2026
Mar 25, 20251 then
RAUM +24% over the last fiscal yearIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $71.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$68.5M48%
- Pooled investment vehicles$64.8M45%
- Corporations and businesses$5.4M3.8%
- Individuals$4.8M3.4%
- Individual clients
- 22reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 87reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.51 fund_share=0.45 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• S•••• H••••••• | Villa Park, Il | Sep 21, 2005 | 22 y | 0 |
| M••• E••••• J•••••••• | Villa Park, Il | May 22, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• L••• O••••••••• Z••• F••• I• L•• | Other Private Fund | $46.1M | 22 | Jul 17, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••• S•••• · President/Chief Compliance Officercontrolsince 03/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Villa Park, Il | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 56.0% to 28.0% between the annual amendments of 2025-03-25 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 30, 2026 to Jul 17, 2026
- Accounts · 86 to 87Mar 25, 2025 to Mar 30, 2026
- Individual clients · 21 to 22Mar 25, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Mar 25, 2025 to Mar 30, 2026
- Employees · 1 to 4Mar 25, 2025 to Mar 30, 2026
- Private funds · 1 to 2Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $65.0M to $40.7MMar 25, 2025 to Mar 30, 2026
- HNW RAUM · $58.7M to $68.5MMar 25, 2025 to Mar 30, 2026
- Individual RAUM · $7.8M to $4.8MMar 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $51.0M to $103MMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $46.2M to $64.8MMar 25, 2025 to Mar 30, 2026
- RAUM · $116M to $144MMar 25, 2025 to Mar 30, 2026
- Accounts · 89 to 86Jul 17, 2024 to Mar 25, 2025
- HNW clients · 17 to 18Jul 17, 2024 to Mar 25, 2025
- Individual clients · 23 to 21Jul 17, 2024 to Mar 25, 2025
- Financial planning clients · unset to Jul 17, 2024 to Mar 25, 2025
- HQ city · unset to Jul 17, 2024 to Mar 25, 2025
- HQ state · unset to Jul 17, 2024 to Mar 25, 2025
- Discretionary RAUM · $36.4M to $65.0MJul 17, 2024 to Mar 25, 2025
- HNW RAUM · $59.2M to $58.7MJul 17, 2024 to Mar 25, 2025
- Individual RAUM · $6.2M to $7.8MJul 17, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $80.1M to $51.0MJul 17, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $46.1M to $46.2MJul 17, 2024 to Mar 25, 2025
- RAUM · $116M to $116MJul 17, 2024 to Mar 25, 2025
Signals
1 dated events
- S•••••• F••••••••• L••• filed its initial SEC registration (Form ADV)Jul 17, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 630-264-0127reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••••-L•••-FUNDreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P•••••••L•••.FUNDreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 630-264-0127reportedpublic record, Form ADV, Jul 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $71.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S•••••• F••••••••• L••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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